Compliance Monitoring Office- Assistant Vice President (m/w/d)
Düsseldorf, DE, 40474
SMBC: A trusted partner for the long term
Here at SMBC Group, we want to help you find the next step in your career so read on to discover if this opportunity is the one for you. We like to recognise potential in our people, so we welcome your application even when your experience doesn’t perfectly align with the job description. Whilst we’ll always strive to be better, we’re proud of our inclusive culture, and encourage our applicants and colleagues to be their authentic, unique selves.
Who we are
United by a sense of purpose towards our customers – to be a trusted partner for the long-term – and our universal banking platform in EMEA, SMBC Group has an international growth agenda and award-winning products, meaning we provide exciting opportunities to work on a diverse range of projects and initiatives. We deliver a full suite of corporate finance products and solutions to our customers as well as investment banking and advisory services, and a range of innovative solutions in global capital markets. Read on to find out how you could enhance your skills and gain valuable experience, by joining us to support our clients transition to a sustainable future.
Role Summary
Is the next step in your career at SMBC Group EMEA?
We're looking for a Compliance Monitoring Officer (Assistant Vice President) for our Compliance Department to join our team in Frankfurt or Düsseldorf.
This role offers the opportunity to play an important role within the second line of defence, supporting the assessment of the Bank's compliance framework and helping ensure adherence to regulatory requirements across a complex international banking environment.
Working closely with Compliance, business, and control function stakeholders, you will contribute to delivering a robust Compliance Monitoring Programme while gaining exposure to a broad range of regulatory and financial crime topics.
About this role
The Compliance Monitoring & Surveillance team provides independent oversight of the Bank's compliance framework, assessing whether processes and controls are operating effectively and in line with regulatory expectations. This role is critical in supporting the execution of the Compliance Monitoring Plan and contributing to the continuous enhancement of SMBC EU's control environment.
In this role you will be responsible for:
- Executing Compliance Monitoring reviews in accordance with the Compliance Monitoring Plan and established methodologies
- Supporting the scoping, planning, testing, and documentation of monitoring reviews covering regulatory compliance and, where required, financial crime topics
- Identifying, documenting, and communicating findings, risks, root causes, and remediation actions to relevant stakeholders
- Monitoring the implementation of agreed action plans and escalating overdue remediation actions where appropriate
- Preparing management information, reporting, and supporting documentation for Compliance Monitoring governance
- Collaborating with stakeholders across the three lines of defence, including Compliance, Risk, Audit, and business teams
- Supporting Compliance Monitoring projects, process enhancements, regulatory change initiatives, and other ad hoc activities as required
The anticipated salary range for this role is €66,000 - €82,000, with the final offer determined based on the candidate’s skills, experience, role scope, location, and relevant market factors. In addition to base salary, the role may be eligible for a discretionary incentive award and a competitive benefits package, including core benefits such as pension provision.
Profile Description
For you to succeed in this role
- Degree educated, preferably in Finance, Law, Accounting, Business, Economics, or a related discipline; professional qualifications would be advantageous
- Proven experience within Compliance, Audit, Risk, Financial Crime, or the broader financial services sector
- Good understanding of financial services, banking products, regulatory requirements, and control frameworks
- Experience assessing risks, controls, and regulatory compliance obligations within a regulated environment
- Strong written and verbal communication skills in English. German language skills would be an asset.
What will you bring to the role?
- Strong analytical and problem-solving skills, with the ability to evaluate complex issues and identify practical solutions
- Excellent attention to detail and commitment to producing high-quality, well-documented work
- Ability to manage multiple reviews, priorities, and deadlines simultaneously
- Strong stakeholder management skills, with the ability to build effective working relationships across all three lines of defence
- A proactive and independent approach, combined with sound judgement and the confidence to escalate issues when required
Desirable
- Knowledge of European banking regulations and emerging regulatory developments, including financial crime-related requirements
- Experience working with regulatory remediation programmes, issue management, or control effectiveness reviews
- Professional qualifications in Compliance, Audit, Risk Management, Financial Crime, or related disciplines would be advantageous
What we offer
For all the expertise and experience you bring to help us make a difference, it’s only sustainable if we support you to build your career and be your best self so we offer competitive company benefits, centred around promoting positive well-bring and work-life balance. We also believe in fostering a diverse and inclusive work environment, where all team members perspectives and contributions are valued. Initiatives in place which promote a diverse and inclusive culture and healthy work life balance include hybrid working, Sport & Social Clubs and Diversity and Inclusion networks.
As an employee of SMBC you have access to a host of both useful and exciting benefit offerings. See below some of the benefits on offer to you:
- Hybrid and flexible working
- Competitive paid leave days
- Benefits to support your physical wellbeing, including private medical insurance
- Various policies to support your mental wellbeing, including a robust behavioural health network with counselling and coaching services
- Access a wide range of learning and development opportunities and career progression opportunities
- Ambitious remuneration package
So, if you like a challenge and want to continuously grow and develop in a role where you will be supported along the way by a dynamic and diverse team, apply today!
We recognise our role as a bank to support social change and welcome all applications, including those from groups often under-represented in financial services. We value the uniqueness of professional and personal, backgrounds and perspectives as they play a vital role in continuing the sustainable growth of our organisation. We’ll ensure reasonable adjustments to our recruitment process are offered due to a disability or long-term condition whenever requested.
We are committed to transparent and equitable pay practices. Compensation is determined using objective criteria, including skills, experience, and role responsibilities, and applied consistently throughout our recruitment processes. We do not request candidates' pay history and are committed to preventing unjustified pay disparities.